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Assessment Task 2 (BSBCOM603) Assessment Task 2 BSBCOM603 Plan and establish compliance management systems Implementation planning Submission details Candidate’s name Phone no. Assessor’s name Phone no. Assessment site Assessment date/s Time/s The assessment task is due on the date specified by your assessor. Any variations to this arrangement must be approved in writing by your assessor. Submit this document with any required evidence attached. See specifications below for details. Performance objective This task requires you to develop for an organisation an implementation plan for the compliance management system that has been identified in the previous assessment task. Assessment description In this assessment task, following on from Assessment Task 1, you are required to plan and document the compliance management system to be implemented in the organisation, and gain approval from both the CEO (or relevant internal approval authority) and an external auditor prior to beginning the implementation process. You will need to respond to two scenarios, one for internal approval, and one for external approval. Scenario: Internal approval You are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation. The CEO, or relevant internal approval authority, has now asked you to prepare an implementation plan for your compliance management system. Your plan will need to include: · specifications · action schedule · budget, with a breakdown of costs for each component of the system. Your plan, to fulfil organisational requirements, must be in the following format: 1. COMPLIANCE MANAGEMENT SYSTEM For the proposed compliance management system: a. describe the management information system requirements b. identify all components of the compliance management system, including any documentation required to be developed c. document the specifications of each component. 2. PERSONNEL For the proposed compliance management system: a. determine personnel requirements for staffing b. select suitable personnel from those available within the case study c. assign key responsibilities to each position. 3. TRAINING Identify and describe: a. the training requirements for implementing the proposed compliance management system b. suitable training options for staff. 4. PROCESSES Identify and describe: a. a complaints management system b. a strategy for developing a compliance management culture c. processes and procedures for identifying and managing compliance breaches, including integration with existing policies and procedures d. processes and procedures for meeting compliance reporting requirements e. processes and procedures for internal and external liaison processes f. performance indicators to be measured by the system so that it can be objectively evaluated, for example: i. individual compliance/non-compliance ii. training numbers iii. numbers of complaints iv. numbers of breaches v. ratio of payroll errors/breaches to number of transactions. 5. ADMINISTRATION Include: a. the budget required to resource implementation (including human resources for developing, implementing, reviewing and maintaining the proposed compliance management system) b. an action schedule outlining target milestones for all aspects of implementation, including training, review and maintenance. You will need to meet with your CEO, or relevant internal approval authority, to present and defend your implementation plan, particularly on the basis of: · adherence to budget · the ability of the plan to contribute to a culture of compliance in the organisation. Note: If you are basing your assessment on the Charity-Care case study, you will need to meet with your assessor in place of the CEO. Scenario: External approval As in the above scenario, you are an external consultant hired to conduct research into and propose an appropriate compliance management system for an organisation. The CEO, or relevant internal approval authority, has now approved your implementation plan for your compliance management system. In order to build credibility for the organisation among clients, customers, and suppliers, as well as government and regulatory authorities, you have been asked to meet with an external auditor (representing an accredited certification body). This external auditor will help you take the first steps towards certifying the organisation with respect to, for example, AS/NZS 3806:2006 Compliance programmes, AS ISO 10002:2006 Guidelines for complaints handling, AS/NZS ISO 31000:2009 Risk Management – Principles and guidelines or AS ISO 15489:2004 Records management. You will need to satisfy the auditor that the planned implementation will be compliant with the principles set out in the relevant standards. Example questions that an auditor could ask with respect to AS/NZS 3806:2006 Compliance programmes, for instance, could include: · How does the planned implementation of the compliance management system: · ensure commitment by top management to effective compliance throughout the organisation? · ensure the compliance policy aligns with business goals? · ensure appropriate resources are allocated to the compliance program? · ensure endorsement by top management? · ensure compliance obligations are identified and assessed? · ensure responsibilities for compliance are set? · ensure training needs are met? · ensure appropriate behaviours are encouraged? · ensure controls are put in place to achieve desired behaviours and outcomes? · ensure performance of the compliance program is monitored, measured and reported? · ensure that the organisation can demonstrate compliance through documentation? · ensure the program is continuously reviewed and improved?[footnoteRef:1] [1: Adapted from AS/NZS 3806:2006 Compliance programmes, Standards Australia, p. 7.] You will need to answer the auditor’s questions with specific reference to the implementation plan for the compliance management system as you have developed it. Note: You will need to meet with your assessor (as the external assessor) or a person assigned to role-play an external auditor. Procedure 1. Review the two scenarios above, in addition to the recommendations you made in Assessment Task 1. 2. Arrange with your assessor a time, place and method to present your implementation plan for approval and agree on a relevant standard to be audited against for external approval. 3. Present a summary of your report to the CEO for approval. Prepare to answer questions on your proposed plan from your CEO, or other internal approver (who may be your assessor), on how your planned system adheres to budgetary constraints set in Assessment Task 1 and contributes to an organisational culture of compliance. 4. Answer questions from an external auditor (your assessor) on how the proposed compliance management system adheres to principles of the relevant standard agreed in advance with your assessor. 5. Submit documentation as per specifications below. Keep copies for your records. You will need to draw on this documentation to complete Assessment Task 3. Specifications You must provide: · a written implementation plan, including specifications, budget and action schedule. Your assessor will be looking for: · your ability to contribute to a positive culture of compliance within an organisation · interpersonal skills to relate to internal and external personnel · literacy skills to write reports containing complex concepts · knowledge of relevant Australian and international standards · knowledge of elements of compliance program/management systems · knowledge of relevant organisational policies and procedures. Adjustment for distance-based learners · No variation of the task is required. Meeting with the CEO and/or your assessor may be conducted via teleconferencing tool. · A follow-up interview may be required (at the discretion of the assessor). · Documentation can be submitted electronically or posted in the mail. © 2015 Innovation and Business Industry Skills Council Ltd1st edition version: 1 Page 5 of 5 Assessment Task 3 (BSBCOM603) Assessment Task 3 BSBCOM603 Plan and establish compliance management systems Establish, monitor and review plan Submission details Candidate’s name Phone no. Assessor’s name Phone no. Assessment site Assessment date/s Time/s The assessment task is due on the date specified by your assessor. Any variations to this arrangement must be approved in writing by your assessor. Submit this document with any required evidence attached. See specifications below for details. Performance objective This task requires you to establish, monitor and review the implementation plan developed in the previous assessment task. Assessment description In this assessment task, following on from Assessment Task 2, you are required to establish the compliance management system within the organisation, and then report on your monitoring and review of the system. Scenario You are an external consultant hired to research, plan, implement and monitor a compliance management system. You will need to follow your plan to train/induct personnel in their specific duties in relation to your implementation plan. You will then need to monitor your plan by meeting with those personnel at a later date to gather information on performance in accordance with your plan. Finally, the CEO has asked you to provide an evaluation of the implementation of your plan. To meet organisational requirements, you will need to prepare a report for senior management. Report headings: 1. EXECUTIVE SUMMARY Summarise content, results of monitoring. 2. ESTABLISHMENT OF SYSTEM Describe steps taken to implement the system. 3. MONITORING METHODOLOGY Describe the methods and approaches used to monitor performance of the system. 4. RESULTS AND ANALYSIS Describe and analyse results of your monitoring activities. 5. CONCLUSION Discuss overall compliance, including specific problem components of the system and success areas. Make specific recommendations for improvement with reference to relevant standards. Procedure 1. Review the scenario above. 2. In accordance with your implementation plan, developed and approved in Assessment Task 2, meet with the managers and operations personnel that you have assigned to positions in implementing the compliance management systems. Train them in their specific duties. a. Explain the components of the compliance management system. b. Describe the compliance management responsibilities for all personnel. c. Outline each person’s duties with regard to reporting, including what methods, tools and templates they should use to supply information to you. For example, you might use negotiated performance measures such as KPIs and scorecards, questionnaires and surveys, oral questioning, etc. Consider performance with respect to, for example: achieving performance targets for outcomes such as a particular number of complaints; achieving performance targets for processes or management such as regular reporting; following procedures. Be prepared to clarify misunderstandings and answer questions. Note: If you are basing your assessment on the Charity-Care case study, your assessor will need to assist with this step. 3. In accordance with your plan, meet with the managers and operations personnel that have been implementing the compliance management system and: a. monitor the operation of the compliance management system, using the methods and approaches you outlined in your initial meeting with personnel b. review and evaluate the implementation of the compliance management system. Analyse relevant qualitative and quantitative data. Use benchmarking data, including time lines, if available, to compare the organisation to like organisations. Note: If you are basing your assessment on the Charity-Care case study, your assessor will need to assist with this step. 4. Develop a management report in accordance with the requirements outlined in the scenario above. 5. Submit documentation as per specifications below. Keep copies for your records. Specifications